transcript
Microsoft Word - StartUpNY_Campus Plans_Final Submission_BCC_Feb
2015_ver8Adds on-campus space at:
Bronx Community College
Attachments/Enclosures:
1.) Excel spreadsheet containing list of properties 2.) Digital
maps of proposed tax-free area on a scaled campus map and/or campus
map shaded
to indicate building containing proposed tax-free space with floor
plans of proposed tax-free space(s)
3.) CUNY Overview of Selection of Participating Businesses 4.)
Applicable CUNY Conflict of Interest Policies 5.) Evidence of
submission of Tax-Free Area Plan to the municipality or
municipalities in which the
START-UP NY CAMPUS PLAN FOR DESIGNATION OF TAX-FREE AREA(S) Name:
Bronx Community College Contact Name: Eddy Bayardelle, Ph.D.
Contact Title: Vice President for Institutional Advancement Contact
E-mail: Eddy.Bayardelle@bcc.cuny.edu Contact Phone: 718-289-5185
_____________________________________________________________________________________
1) Specification or identification of space or land proposed for
designation as a Tax-Free NY Area identifying the following:
i. Refer to excel spreadsheet for the address(es) and other
information associated with the space or land proposed for
designation as a Tax-Free NY Area. See Attachment 1
ii. Provide a pdf image of the campus perimeter, with shading of
the parcels of land being
proposed as tax free zones. Each parcel will need a unique
identifier listed in the excel spreadsheet and labeled on the map
to allow for cross referencing. See Attachment 2
iii. Provide building floor plans shaded with the spaces that will
be part of the designated zone
supplemented by the excel spreadsheet template with detail for each
building zone being considered with unique identifiers that tie
back to the building drawings. See Attachment 2
Bronx Community College (BCC) is contributing to the program Space
CU-210-1-B-21050-000, which is the entire third floor, or 2,799 SF,
of MacCraken Hall that is currently vacant, Space CU-
210-1-B-21056, which is the entire vacant third floor, or 1,676 SF,
of Altschul House, Space CU- 210-1-L-21000-000 which is a 2.2 acre
parcel that surrounds Altschul House, and Space CU-210-
1-B-21000-001 which is a 23,317 SF vacant single-story building
located at 1040 Home Street in the Bronx.
2) The total square footage of the space or acreage of land
proposed for designation as a Tax- Free NY Area. 27,792 SF and 2.2
acres on campus.
mission of BCC with the common goal of workforce development. Any
business that can aid with BCC’s goals of educating students with
an eye towards and active participation in helping those students
who complete the educational training with BCC to become gainfully
employed – to facilitate direct job opportunities for campus
graduates. The creation of Internships/Externships and other
training opportunities is something that BCC is hopeful to garner
from any prospective business for our students. For example, a
business that has a focus on sustainable energy (that aligns with
BCC’s own academic programs in our Center for Sustainable Energy)
would be able to provide opportunities for BCC students to work at
its company as an intern. As a result, students would receive
valuable, experiential work experience in exchange for academic
credit or stipends, depending on the assignment. In looking at a
potential business, we would be seeking businesses involved in the
below areas and/or with the following characteristics/
objectives/abilities:
Information Technology businesses, businesses that develop and/or
promote the use of technology, and/or businesses highly involved in
the use of technology, including but not limited to Digital Media
and Graphic Web Design. BCC is also looking to partner with
businesses that are involved in the design, development and
introduction of technology that supports educational programs
and/or student success.
Biotechnology and/or biomedical device development businesses.
Automotive Technology businesses. Manufacturing Technology,
Engineering Technology, Material Science and
Nanotechnology related businesses. Medical related businesses that
use and promote technological methods that improve
patient care, including but not limited to, Pharmaceuticals.
Sustainability, Building Energy Conservation, and Energy
Conservation and Emissions
4) Provide a description of the academic mission of the Sponsor and
how the anticipated
The process for a “stackable certificate” is outlined below.
5) Provide a description of how participation by those types of
businesses in the Program would generate positive community and
economic benefits, including but not limited to: Increased
employment opportunities; Increased opportunities for internships,
vocational training and experiential learning for
undergraduate and graduate study; Diversification of the local
economy; Environmental sustainability; Increased entrepreneurship
opportunities; Positive, non-competitive and/or synergistic links
to existing businesses; Effect on the local economy; and
Opportunities as a magnet for economic and social growth.
As outlined in BCC’s response to #4 above, the participation by the
types of businesses we will choose for the Program would generate
positive community and economic benefits, through a myriad of ways.
The three top ways include, but are not limited to: (1) boosting
economic and social growth; (2) expanding opportunities for
internships/externships/experiential learning, and/or vocational
training that will better prepare BCC students and make them more
marketable for the workforce; and (3) increased opportunities for
members of the community to gain training that will lead to their
goal of better jobs to care for themselves and their families.
Looking at how these businesses would boost economic and social
growth, the best description is that their very presence – bringing
their business to the Bronx – promotes a boost in the economy,
whether it is big businesses or small start-ups. In addition to the
job creation they will bring, their
Stackable Credentialling for Seamless NonCredit to Credit
Student takes a noncredit course
or certificate program through
Continuing Education.
Achieving Standards of Course/Program
Seamless Entry to Credit Programs
own employees will live and shop in the communities of the Bronx –
all adding to a boost in the economy. In addition, the social
growth is automatically enhanced, through further improving the
image of the Bronx as a renaissance community, undergoing positive
growth and interaction between these businesses and members of the
community. Merchants and members of the community will have a
visible and viable part of BCC’s campus right in the middle of
their neighborhood, where a once vacant building stood. Students
and visitors to that campus location are expected to buy at local
businesses: This stirs economic growth. Other businesses (small and
large) after noticing that a major educational institution – BCC –
has chosen to take roots in that community should seek to do the
same: This is economic productivity. The area that once was vacant
takes on a new vitality – improving the social growth of that
local. With regard to the second reason – expanding opportunities
for internships/externships, etc. to better prepare BCC students -
having the involvement of businesses to assist faculty with
information that helps to better design and re-design curricula is
positive support for the students. Through these partnerships,
where students gain experiential learning, students are not only in
the position to gain real-work/real-world experiences that will aid
in their hire, the businesses have the opportunity to supervise and
see the potential employees they can hire or refer to their
business partners for hire. Because of the varied learning styles
of students, providing experiential learning opportunities (i.e.,
practical application of theory learned in the classroom directly
in the workplace), will enhance the learning experience for
students, ensure better retention by better addressing learning
styles and better students for the workforce, and will help
students make connections that can lead them directly into
employment appointments. Lastly, each of the above points to the
ultimate goal of gaining the type of training that will help
students reach the goal of better jobs to care for themselves and
their families. The stackable credentialing programs (that will be
enhanced by business/industry partners) are being developed at BCC
in furtherance of the goal to better prepare students for the
workforce and in a quicker period of time. These stackable
credentialing programs will be designed in concert with the advice
of business and industry as our partners, program by program that
is identified, so that we are preparing curricula that directly
meets the partners’ needs and prepares students for what the
workforce demands. It is BCC’s commitment to workforce development
to provide more opportunities for students to receive training in
career fields that can be completed within month(s) to a year that
will lead to immediate employment and then provide seamless
pathways for the same student to continue on with his/her education
for a credit certificate and/or degree.
ATTACHMENT 1
Location Unique ID Owner Property Type
Street Address City Zip ParcelID Building SpaceType SqFt Acres
Description onCampus Within1mile ofCampus Latitude Longitude
Note
Bronx CU2101B
21050000
Bronx Community
Terrace
Hall
B 2,799 Third Floor Yes No 73° 54' 41.96"
+40° 51' 34.89"
Bronx CU2101B
21056000
Bronx Community
House
B 1,676 Third Floor Yes No 73° 54' 42.73"
+40° 51' 37.85"
Bronx CU2101L
21000000
Bronx Community
College
1 2205 Sedqwick Avenue Bronx 10453 Land D 2.2
Land surrounding
Altschul House
Bronx CU2101B
21000001
Street
office building
Yes No 73° 88' 77.72" +40° 82' 85.56"
Space affiliated with
College through
Development
Agency
** A=entire building * 1= on campus
B=floor within building
2= 1 mile off campus
C=Room within building 3= State Asset
D=land on campus
E= land off campus
F=entire building off campus
G=partial building off campus
H=state asset
Bronx Community College
1040 Home Street
START-UP New York Program
The City University of New York (CUNY) intends to sponsor tax-free
areas under the Start-Up NY program. As part of the program,
sponsoring campuses will solicit and review applications from
businesses to locate in the campuses’ tax-free areas. The following
summarizes the general processes and criteria that CUNY and it
constituent colleges (Colleges) intend to utilize when reviewing
such applications and when selecting businesses to locate in a CUNY
tax-free area.
Solicitation Process
CUNY may solicit applications using a variety of methods and
resources CUNY may determine to be necessary or useful, including,
without limitation, the following: direct solicitation of
individual businesses; utilizing intermediaries such as brokers,
trade groups or governmental entities; advertising open space;
and/or utilizing formal or informal competitive processes such as
request for proposals, request for information, request for bids,
or the like. CUNY may conduct one or multiple solicitation
processes for any particular property or space, and solicitation
processes may have a specific termination date or kept open until
available space at a particular location is filled.
Selection Process
consideration. If both the College President and the CUNY Vice
Chancellor for Facilities Planning, Construction and Management (or
their designees) approve the recommendation, then the College and
CUNY’s Office of Facilities Planning, Construction and Management
(FPCM) may submit the recommendation to the University’s Board of
Trustees for approval. If the Board approves the recommendation,
then the College and FPCM may jointly take such additional steps as
are outlined in CUNY policy to submit the selected business for
approval by the New York State Commissioner of Economic
Development.
Selection Criteria
CUNY and the College will establish selection criteria before the
College starts formally soliciting applications. The criteria shall
include, but not be limited to, the following:
type of business;
location of and total square feet of space;
description of use and function of the space;
improvements planned for the space and financial plan to implement
improvements;
projected economic and programmatic benefits to the College;
and
strength of affiliation/relationship with the College.
CUNY CONFLICT OF INTEREST POLICY
1. General Statement of Policy.
It is the policy of the University that all of its activities shall
be conducted in accordance with the highest standards of integrity
and ethics and in a manner that will not reflect or appear to
reflect adversely on the University’s credibility, objectivity, or
fairness. Every individual to whom this Policy is applicable (each,
a “Covered Individual”) must maintain the highest standards of
honesty and integrity and must refrain from any use whatsoever of
his or her position at the University, or the information,
privileges, or influence such position may provide, when such use
is motivated by, or gives the appearance that it is motivated by,
the desire for private gain or advantage for the Covered
Individual, or for other persons, institutions, or corporations
with which he or she has family, professional, business, or
financial connections. Accordingly, no Covered Individual shall
have any interest, financial or otherwise, direct or indirect, or
engage in any business or transaction or professional activity, or
incur any obligation of any nature, which is in substantial
conflict with the proper discharge of his or her duties and
responsibilities at the University.
Sections 2 and 3 of this Policy, which set forth the general
standards of conduct
and the rules regarding hiring, employment, and contracting
decisions and supervisory responsibility involving Family Members,
apply to all Covered Individuals. Section 4 sets forth specific
obligations of Investigators, whether or not they are Covered
Individuals, who are involved in research or similar educational or
community outreach activities at the University (collectively,
“research”) and the University’s procedures for reviewing and
managing Financial Conflicts of Interest that may arise in
connection with such activities. Section 5 sets forth provisions
regarding records retention requirements and sanctions for
violations of this Policy. Section 6 sets forth the definitions of
“Covered Individual”, “Family Members”, “Financial Conflict of
Interest”, “Investigator”, and other terms used in this Policy. The
provisions of this Policy are to be interpreted in light of the
paramount importance of academic freedom in the activities of the
University.
In the event that Federal, state, or local laws or regulations are
enacted (or
amended) that require changes in this Policy, the University may
amend this Policy, and any related document officially issued by
the University to set forth procedures for the implementation of
this Policy (each, a “Conflict of Interest Procedural Document”),
in order to comply with the new requirements. Any such amendment
shall not require approval of the University’s Board of Trustees
but shall be promptly reported to the Board. College and University
officials with responsibilities under this Policy are identified by
titles that are current as of this Policy’s effective date. If the
title for a particular position changes at any time, the
responsibilities under this Policy shall be
performed by the individual having responsibilities within the
College or the University similar to the individual who held the
former title. If there is a vacancy at any time in the position,
the responsibilities under this Policy shall be assumed by the
individual to whom such position reports or to his or her designee.
2. General Standards of Conduct. Although not all possible
situations within the scope of this Policy are included in this
Section 2, the following standards, which are primarily based on
provisions in New York State Public Officers Law §§ 73 and 74,
shall serve as general guidance for Covered Individuals. All
Covered Individuals are encouraged to consult the advisory opinions
of the New York State Joint Commission on Public Ethics
interpreting these provisions at http://www.jcope.ny.gov, and all
Covered Individuals should bring questions about the applicability
or interpretation of any of these standards to the University’s
Office of the General Counsel at ogc@cuny.edu.
2.1. No Covered Individual shall accept other employment that will
impair his or her independence of judgment in the exercise of his
or her duties or responsibilities at the University.
2.2. No Covered Individual shall accept other employment or engage
in any
business or professional activity that will require him or her to
disclose confidential information gained by reason of his or her
position or authority at the University.
2.3. No Covered Individual shall disclose confidential information
acquired in
the course of his or her duties or responsibilities at the
University, except as required by such duties or responsibilities
or by law, nor use such information to further his or her personal
interests.
2.4. No Covered Individual shall use or attempt to use his or her
position at the
University to secure unwarranted privileges or exemptions for
himself or herself or others.
2.5. No Covered Individual shall engage in any transaction as a
representative
or agent of the University with any business entity in which he or
she has a direct or indirect financial interest that might
reasonably tend to conflict with the proper discharge of his or her
duties or responsibilities at the University.
2.6. A Covered Individual shall not by his or her conduct give
reasonable basis
for the impression that any person can improperly influence him or
her or unduly enjoy his or her favor in the performance of his or
her duties or responsibilities at the University, or that he or she
is affected by the kinship, rank, position, or influence of any
party or person in the performance of those duties or
responsibilities.
2.7. A Covered Individual shall abstain from making personal
investments in enterprises that he or she has reason to believe may
be directly involved in decisions to be made by him or her at the
University or that will otherwise create substantial conflict
between his or her duty or responsibility at the University and his
or her private interest.
2.8. No Covered Individual, nor any firm or association of which he
or she is a
member, nor any corporation ten percent (10%) or more of the stock
of which is owned or controlled directly or indirectly by such
Covered Individual, shall sell any goods or services having a value
in excess of $25 to the University, or contract for or provide such
goods or services with or to any private entity where the power to
contract, appoint, or retain on behalf of the private entity is
exercised, directly or indirectly, by the University, unless such
goods or services are provided pursuant to an award or contract let
after public notice and competitive bidding.
2.9. No Covered Individual shall accept gifts of more than nominal
value where
the circumstances would permit the inference that (a) the gift was
intended to influence the Covered Individual in the performance of
his or her duties or responsibilities at the University, or (b) the
gift constituted a tip, reward, or sign of appreciation for any act
by the Covered Individual in connection with those duties or
responsibilities.
3. Policy regarding Nepotism in Hiring, Employment,
Supervisory
Responsibility, and Contracting.
3.1. General. The University seeks to foster a work environment
conducive to a satisfying family life for all members of the
University community and to accommodate, wherever appropriate,
individual needs relating to family life. At the same time, there
are a number of situations where the personal interests of a member
of the University community may conflict with the proper discharge
of his or her duties and responsibilities at the University. In
keeping with New York State Public Officers Law §§ 73(14) and (15),
this Policy recognizes that conflicts may be inherent in the
hiring, employment, and supervision of a Covered Individual’s
Family Members as well as in entering into contracts that relate to
Family Members or with entities in which Family Members have a
personal or financial interest. Accordingly, this Section 3 sets
forth certain specific prohibitions against a Covered Individual’s
participation in the conduct of University business involving his
or her Family Members.
3.2. Hiring and Employment Decisions. No Covered Individual shall
take part
in any decision to hire, promote, discipline, or discharge any of
his or her Family Members with respect to any position at the
University. If such a hiring or employment matter arises relating
to a Family Member, then the Covered Individual must advise his or
her supervisor of the relationship in writing and must be recused
from any and all discussions or decisions relating to the
matter.
3.3. Supervisory Responsibility. No Covered Individual shall have
Supervisory Responsibility for any of his or her Family Members at
the University, except as provided by a written waiver as set forth
in this Section 3.3, or in the case of research projects, as
provided in Section 3.6 below. (For the purpose of this Section
3.3, a Covered Individual shall be deemed to have “Supervisory
Responsibility” for a Family Member if the Family Member (a)
directly reports to the Covered Individual, or (b) directly reports
to a supervisor who reports ultimately to the Covered Individual,
regardless of the number of reporting levels that separate the
Family Member from the Covered Individual.) Although Department
Chairs are Covered Individuals, for the purpose of this section,
they shall not be deemed to have any Supervisory Responsibility for
full-time faculty members in their department under this section,
but they shall be deemed to have Supervisory Responsibility for
their department’s adjunct faculty members.
If at the time of the initial implementation of this Section 3.3
following the effective
date of this Policy, a Covered Individual has Supervisory
Responsibility for a Family Member at the University, or subsequent
to the initial implementation of this section a Covered Individual
may come to have such Supervisory Responsibility, the Covered
Individual shall make reasonable efforts to effect a change in the
organization or have the Family Member reassigned in order to avoid
a violation of this section. If, however, such a change or
reassignment is not feasible (e.g., as a result of civil service
rules or provisions of the applicable collective bargaining
agreement) or would result in significant harm to the operations or
activities of the University, the Covered Individual may file a
written request for a waiver with the Vice President for
Administration of the College where the Covered Individual is
employed or such other College official as may be designated by the
College President. Such request shall set forth the efforts that
have been made to effect a change in the organization, the reasons
why a reassignment of the Family Member is not feasible, and the
reasons why such a change or reassignment would result in
significant harm to the University’s operations or activities. If,
after a review of all the relevant circumstances, a waiver in
writing is granted, the Covered Individual may continue or assume,
as the case may be, Supervisory Responsibility for his or her
Family Member.
Notwithstanding any waiver regarding Supervisory Responsibility for
a Family
Member pursuant to the preceding paragraph, no Covered Individual
shall participate under any circumstances in any action that
directly affects his or her Family Member as an employee of the
University individually, and not as a member of a group, including,
but not limited to, performance evaluations, position
reclassifications, and determination of promotional opportunities
or eligibility for additional compensation of any kind from the
University.
3.4. Contracting Decisions. No Covered Individual shall take part
in any
contracting decision at the University (a) relating to a Family
Member, or (b) relating to any entity in which a Family Member is
an officer, director, or partner, or in which a Family Member owns
or controls ten percent (10%) or more of the stock of such entity.
If a contracting matter arises involving either clause (a) or (b),
then the Covered
Individual must advise his or her supervisor of the relationship in
writing and must be recused from any and all discussions or
decisions relating to the matter.
3.5. Family Members. The definition of Family Member, which appears
in
Section 6.11 of this Policy, is very broad. It covers not only
spouses and domestic partners, parents, children, and siblings, but
it also extends as far as great grandparents and great
grandchildren and many other relatives of a Covered Individual and
his or her spouse or domestic partner, as well as to other
individuals living in the same household as the Covered Individual.
If a Covered Individual has any questions about whether the
provisions of this Section 3 apply to his or her situation, it is
incumbent upon the Covered Individual to consult the University’s
Office of the General Counsel at ogc@cuny.edu.
3.6 Applicability to Research.
3.6.1 Research Positions Administered through the Research
Foundation.
Sections 3.1 through 3.5 shall not apply to any research positions
administered though the Research Foundation. Hiring, employment,
and contracting decisions and supervisory responsibility in
connection with such positions shall be governed by the Code of
Ethics of the Research Foundation.
3.6.2 Research Positions Not Administered through the Research
Foundation.
Sections 3.1 through 3.5 shall not apply to any research positions
not administered through the Research Foundation if (a) the
Investigator files a written request for a waiver with the Vice
Chancellor for Research setting forth the description of the
research project, the nature of the involvement of the
Investigator’s Family Member, and the reasons why it would be
appropriate for the waiver to be granted; and (b) the Vice
Chancellor for Research, after a review of all the relevant
circumstances, grants the waiver in writing.
4. Policy on Financial Conflicts of Interest in Research. 4.1.
Scope. This Section 4 applies to all research projects, regardless
of the source of funding or support or the commercial exploitation
of the results of such projects. 4.2. General. A particular purpose
of this Policy is to promote integrity in research by establishing
standards and procedures to ensure, to the extent possible, that
any Significant Financial Interest (as defined in Section 6.16)
that could directly and significantly affect the design, conduct,
reporting, or regulatory review of a research project at the
University (each, a “Financial Conflict of Interest” or “Financial
Conflict”) does not bias the design, conduct, reporting, or
regulatory review of the research project.
The University recognizes that interactions between Investigators
(as defined in Section 6.14) in a research project at the
University and commercial entities have many beneficial results for
the University and its faculty, staff, post-doctoral associates,
and students, as well as the commercial entities themselves. For
example, such interactions are an especially effective means of
facilitating the commercial development of University intellectual
property, which benefits the public with new goods and services and
stimulates economic development. Nevertheless, these interactions
may raise conflicts between the personal financial interests of the
Investigator and the interests of the University. In some cases,
such conflicts may reasonably appear to be likely to affect the
judgment of an Investigator.
The University has determined that a strict prohibition of
Financial Conflicts of
Interest does not serve the public interest because potentially
beneficial interactions with industry would be lost. Moreover, the
University recognizes that Financial Conflicts of Interest will
inevitably arise in a modern research university and that the mere
existence of such Financial Conflicts, in the absence of wrongful
behavior, is not necessarily improper. As a result, consistent with
Federal regulations dealing with objectivity in research and
investigatory financial disclosure policy, this Policy seeks to
manage Financial Conflicts of Interest in order to minimize the
potential harm that could result either from Financial Conflicts
that actually impair the judgment of Investigators or from the
appearance that the judgment of Investigators has been or will be
impaired. The University reserves the right to prohibit the
existence of Financial Conflicts of Interest that present
unmanageable risks or that would require excessive resources to
manage.
The complex situations that may arise involving Financial Conflicts
of Interest require management using specialized knowledge and a
multi-disciplinary, problem- solving approach. Therefore, this
Policy provides for qualified individuals designated at each
College, as well as a University-wide Conflicts Committee, to
review disclosures by Investigators of Significant Financial
Interests related to the Investigators’ Institutional
Responsibilities (as defined in Section 6.13) to determine whether
such Significant Financial Interests are related to the
Investigator’s research and constitute Financial Conflicts of
Interest, and if so, to manage those Financial Conflicts in a fair,
objective, and confidential manner in accordance with applicable
laws and regulations, this Policy, and any applicable Conflict of
Interest Procedural Document. 4.3. Disclosure of Significant
Financial Interests. In addition to any obligation under other
University policies, including the University’s Intellectual
Property Policy, any applicable Conflict of Interest Procedural
Document, or any Federal, state, or local laws or regulations, each
Investigator must disclose to the College Conflicts Officer at his
or her College each Significant Financial Interest that is related
to his or her Institutional Responsibilities in any situation
designated in this Section 4.3. All disclosures must be made in
writing to the College Conflicts Officer (with a copy to the Grants
Officer at the College if the Significant Financial Interest is
related to a sponsored research project) using the disclosure forms
provided by the Office of the Vice Chancellor for Research.
The following situations require disclosure at the time noted in
each paragraph: 4.3.1. Proposals and Applications for Research
Funding or Support - If (a) an
Investigator intends to design, conduct, or report research at the
University, or participate in the regulatory review of such
research, and (b) funding or other support for the research is
being sought directly or indirectly from a government agency,
non-profit institution, Company (as defined in Section 6.5), or the
University, and (c) at the time a proposal or application for such
funding or support is being prepared, the Investigator has a
Significant Financial Interest that is related to his or her
Institutional Responsibilities, then the Investigator must disclose
the Significant Financial Interest to the College Conflicts Officer
and the Grants Officer at his or her College before the proposal or
application is submitted to the agency, institution, Company, or
the University. The Investigator must also comply with any
disclosure and approval procedures required by the agency,
institution, Company, or the University in connection with any such
proposal or application.
Although a Significant Financial Interest relating to a proposal or
application for research funding or support must be disclosed prior
to the submission of the proposal or application, the review of the
Significant Financial Interest by the College Conflicts Officer and
the Conflicts Committee may take place after such submission. If,
however, a proposal or application for research funding or support
is submitted before such review, the Significant Financial Interest
must be reviewed, and any related management or oversight plan
developed by the Conflicts Committee under Section 4.5.1 must be
implemented, prior to the expenditure of any awarded funds or
support. Notwithstanding the foregoing, in the case of research at
the University involving multi-year funding or support that
requires an annual renewal or progress report, the Investigator
must disclose any previously undisclosed Significant Financial
Interest and updated information regarding any previously disclosed
Significant Financial Interest, and also receive approval in
writing in accordance with this Policy, before the renewal
application or progress report is submitted to the agency,
institution, Company, or the University.
4.3.2. Ongoing Funded or Supported Research - If (a) an
Investigator designs,
conducts, or reports ongoing research at the University, or
participates in the regulatory review of such research, and (b) the
research is funded or supported directly or indirectly by a
government agency, non-profit institution, Company, or the
University, and (c) the Investigator has or subsequently acquires a
Significant Financial Interest that is related to his or her
Institutional Responsibilities, then the Investigator must disclose
the Significant Financial Interest to the College Conflicts Officer
and Grants Officer at his or her College and receive approval in
writing in accordance with this Policy before the Significant
Financial Interest is acquired, or as soon thereafter as possible
if prior disclosure is impossible. The
Investigator must also comply with any disclosure and approval
procedures required by the agency, institution, Company, or the
University in connection with such research.
4.3.3. Licensing to Certain Companies - If (a) an Investigator
responsible for
developing, discovering, or creating any University-owned
intellectual property becomes aware, or should reasonably have
become aware, of a Company’s acquisition or intention to acquire
ownership of or a license to that intellectual property, and (b) at
such time the Investigator has a Significant Financial Interest
from or in that Company, or subsequently acquires such a
Significant Financial Interest, then the Investigator must disclose
the Significant Financial Interest to the College Conflicts Officer
at his or her College and receive approval in writing in accordance
with this Policy before the Significant Financial Interest is
acquired, or as soon thereafter as possible if prior disclosure is
impossible.
4.3.4. Supervision of Students and Post-Doctoral Associates - If an
Investigator has a Significant Financial Interest from or in a
Company or subsequently acquires such a Significant Financial
Interest, and he or she teaches, supervises, or otherwise has
control over any students or post-doctoral associates at the
University who might be involved in related work for the Company,
then the Investigator must disclose the Significant Financial
Interest and the planned student or post-doctoral associate
involvement to the College Conflicts Officer at his or her College
and receive approval in writing in accordance with this Policy
before the assistance of any students or post-doctoral associates
in such work may commence or continue.
4.3.5. Changes in a Significant Financial Interest - All
Investigators must disclose
to the College Conflicts Officer any material change in a
previously disclosed Significant Financial Interest within thirty
(30) days after the change.
No disclosure is required under this Section 4.3 unless the
Significant Financial Interest is within one of the above
situations. As required by Federal, state, or local laws or
regulations, or as otherwise approved by the University’s Board of
Trustees, the Conflicts Committee may add to this list. In such
event, the Office of the Vice Chancellor for Research shall issue
an official advisory to provide notice of the change and shall
update the disclosure forms for Significant Financial Interests to
reflect the change.
4.4. Review of Significant Financial Interests and Determination of
Financial Conflicts at the College.
4.4.1. Designation and Duties of College Conflicts Officers - Each
College
President, after consultation with the appropriate faculty
governance body at the College and approval by the Vice Chancellor
for Research, shall
designate an employee of the College as the College Conflicts
Officer. Each College Conflicts Officer shall perform the following
functions:
(a) promote awareness at the College of (i) the requirement to
disclose
Significant Financial Interests in accordance with this Policy and
all applicable Conflict of Interest Procedural Documents, and (ii)
the availability of disclosure forms on the website of the Office
of the Vice Chancellor for Research;
(b) receive disclosures of Significant Financial Interests of
all
Investigators at the College and send copies of those disclosures
to the Office of the Vice Chancellor for Research;
(c) review each disclosure of a Significant Financial
Interest,
investigate the disclosure and consult with the College Provost and
appropriate Department Chair as necessary, determine whether or not
any Financial Conflict involving a Significant Financial Interest
exists, and prepare a written report regarding such
determination;
(d) whether or not a Financial Conflict of Interest is determined
to exist,
send the report and the complete written record of the review and
decision-making to the individuals specified in Section 4.4.2;
and
(e) assist in the implementation and monitoring of any
management
and oversight plans developed by the Conflicts Committee for
Financial Conflicts of Interest at the College.
If any of the situations described in Section 4.3 apply to a
College Conflicts Officer in his or her role as an Investigator, he
or she must disclose the Significant Financial Interest to the
College Provost or the Provost’s designee at the required time. In
such a case, or in the case where a College Conflicts Officer is
the supervisor of an Investigator who discloses a Significant
Financial Interest, the College Conflicts Officer shall not
participate in any review or decision regarding the Significant
Financial Interest, and the College President shall designate the
College Provost or another individual to perform the review and
decision-making process instead.
4.4.2. College Review and Decision-Making Process – Upon receipt of
a
disclosure of a Significant Financial Interest, the College
Conflicts Officer shall review the Significant Financial Interest
and make a determination whether the Significant Financial
Interest: (a) is related to the Investigator’s research (i.e.,
could be affected by the research or is in an entity whose
financial interest could be affected by the research), and if so,
(b) whether a Financial Conflict of Interest exists. Whether or not
the College Conflicts Officer determines that a Financial Conflict
exists, he or she shall promptly prepare a written report regarding
the determination
and send the report and the complete written record of the review
and decision-making to the University Director for Research
Compliance in the Office of the Vice Chancellor for Research, the
College Provost, the Investigator, and if the case involves a
sponsored project administered through the Research Foundation, to
the Legal Department of the Research Foundation.
4.5. The Conflicts Committee. 4.5.1. Review and Management of
Financial Conflicts of Interest – The
University’s Conflicts Committee shall promptly review the College
Conflicts Officer’s report and the complete written record of his
or her review and decision-making in connection with each Financial
Conflict of Interest determined by the College Conflicts Officer
and decide whether or not a Financial Conflict of Interest does in
fact exist. The Conflicts Committee shall also have the discretion
to review reports of the College Conflicts Officer where no
Financial Conflict of Interest is found to exist and decide
otherwise. If the Conflicts Committee determines that a Significant
Financial Interest is related to the research in question and that
a Financial Conflict of Interest exists, the Committee and its
staff shall promptly develop and implement a conflict management
and oversight plan that specifies the actions that have been, and
shall be, taken to manage the Financial Conflict in accordance with
the requirements of the research sponsor and the University.
Examples of conditions or restrictions that might be imposed to
manage, reduce, or eliminate the Financial Conflict include but are
not limited to the following:
(a) Public disclosure of the Financial Conflict (e.g., when
presenting or
publishing the research); (b) For research projects involving human
subjects research,
disclosure of the Financial Conflict directly to participants; (c)
Appointment of an independent monitor capable of taking
measures to protect the design, conduct, reporting, and review of
the research against bias resulting from the Financial
Conflict;
(d) Modification of the research plan; (e) Change of personnel or
personnel responsibilities, or
disqualification of personnel from participation in all or a
portion of the research;
(f) Reduction or elimination of the Significant Financial Interest
(e.g., sale of an equity interest); or
(g) Severance of relationships that create the Financial
Conflict.
The Conflicts Committee Administrator shall promptly send notice of
the decision by the Conflicts Committee of whether or not a
Financial Conflict exists, including a statement of the basis for
the decision, to the College Conflicts Officer, the College
Provost, the Investigator, any other individuals determined by the
Vice Chancellor for Research, and, if the
case involves a sponsored project administered through the Research
Foundation, the Legal Department of the Research Foundation. If the
Conflict Committee decides that a Financial Conflict of Interest
exists, such notice shall include a copy of the related management
and oversight plan. The Investigator shall have up to ten (10) days
to notify the Conflicts Committee in writing of any objections to
the initial management and oversight plan issued by the Committee,
and the Committee shall promptly review such objections and notify
the individuals who previously received a copy of the plan, and any
other individuals determined by the Vice Chancellor for Research,
of any resulting changes in the plan that the Committee decides to
make.
4.5.2. Composition of the Conflicts Committee - The University
shall establish a seven-member University-wide Conflicts Committee
consisting of the Vice Chancellor for Research or his or her
designee, the President of the Research Foundation or his or her
designee, a College Provost designated by the Vice Chancellor for
Research, and four tenured University faculty members. These
faculty members, who shall be actively involved in sponsored
research projects and shall have such other qualifications as may
be determined by the Vice Chancellor for Research, shall be
nominated by a College President or the University Faculty Senate
and selected by the Vice Chancellor for Research. The Committee
shall include faculty members from at least three different
Colleges and represent at least three different academic
disciplines. The College Provost and the faculty members on the
Committee shall serve a term of three years; provided, however,
that two of the faculty members nominated at the time of the
formation of the Committee shall serve initial terms of one and two
years, respectively, so that the terms of the faculty members will
be staggered. The Provost and the faculty members may not serve
more than two consecutive terms. The Vice Chancellor for Research
or his or her designee shall be the Chair of the Committee. The
Chair shall be a voting member of the Committee but shall vote only
in the case of a deadlock or to achieve a majority of the members
of the Committee required for a decision under Section 4.5.5.
4.5.3. Meetings of the Conflicts Committee - The Conflicts
Committee shall hold meetings with appropriate notice to all
participants on a schedule determined by the Chair based on the
number of Financial Conflicts of Interest that need to be reviewed
and any applicable deadlines for review and reporting established
by research sponsors. Committee meetings shall require a quorum of
a majority of the members of the Committee. Members of the
Committee may participate in meetings using voice or
video-conferencing technology, provided that all members receive
copies of the materials to be discussed at the meetings in advance.
The Chair or his or her designee shall be responsible for setting
the agendas for the meetings and distributing to Committee members
in advance of the meetings the disclosures of Investigators, the
reports and complete written
records of the review and decision-making of the cases at the
Colleges, and other relevant materials. The College Conflicts
Officer shall attend the portions of Committee meetings devoted to
the consideration of Financial Conflicts at his or her College, and
an Investigator shall be entitled to attend the portion of the
Committee meeting devoted to the consideration of his or her
Financial Conflict, but neither the College Conflicts Officer nor
the Investigator may be present for any discussion regarding the
Committee’s determination of whether or not a Financial Conflict
exists or the development of a management and oversight plan. A
member of the University’s Office of the General Counsel and/or a
legal representative of the Research Foundation shall attend all
meetings of the Committee.
4.5.4. Recusal Procedures - The Conflicts Committee shall establish
written
procedures for the recusal of a Committee member from participating
in the Committee’s consideration of a particular Financial Conflict
of Interest in appropriate circumstances. The Committee shall make
these procedures available to interested parties upon
request.
4.5.5. Decisions of the Conflicts Committee - The Committee’s
decisions
regarding the disposition of Financial Conflicts of Interest shall
be made by a majority of the members of the Committee present at
the meeting. The Committee’s decisions shall be recorded in written
minutes, which shall not include any identifying information about
the votes of the Committee members. The Committee shall make
decisions regarding the disposition of Financial Conflicts of
Interest, including the development and implementation of a
management and oversight plan, within thirty (30) days after
receiving the written report and complete written record of the
review and decision-making process at the College from the College
Conflicts Officer; provided, however, that earlier dates may be
required to meet the notice requirements and reporting deadlines
established by a research sponsor. Subject to an Investigator’s
right to object to a management and oversight plan under Section
4.5.1, all decisions of the Committee shall be final.
4.5.6. Authority of the Conflicts Committee - The Committee shall
have
discretion in reviewing and making decisions regarding the
disposition of all Financial Conflicts of Interest and may request
and review additional relevant information from Investigators and
other sources. The Committee shall annually review the definition
of Significant Financial Interest in Section 6.16 and shall have
authority to revise the definition in order to comply with new
requirements of Federal, state, or local laws or regulations and,
subject to approval by the University’s Board of Trustees,
otherwise revise the definition. The Committee shall have authority
to interpret this Policy and shall give Investigators and College
Conflicts Officers notice of its interpretative statements through
periodic advisories as well as access to the written minutes of
Committee meetings
appropriately redacted to preserve the confidentiality of the
individuals involved.
4.6. Confidentiality of Disclosures. Many of the matters brought to
the College
Conflicts Officers, other officials at the College, the Office of
the Vice Chancellor for Research, the Research Foundation, and the
Conflicts Committee for review and decision-making will include
information of a personal and private nature concerning the
financial interests of Investigators, proprietary business
information, and other information of a highly confidential nature.
Accordingly, except as specifically provided in this Section 4 or
as otherwise required by Federal, state, or local laws or
regulations, all College Conflicts Officers, other officials at the
College, the Office of the Vice Chancellor for Research, the
Research Foundation, the Conflicts Committee, and others who
participate in Committee meetings as provided herein shall maintain
all disclosed information in strict confidence and take necessary
precautions and actions to preserve the confidentiality of such
information, and the Conflicts Committee shall meet in closed
session. Information disclosed under this Section 4 may be
disclosed outside the University only as required by the source of
funding or support for the applicable research or by applicable
Federal, state or local laws or regulations, and only after the
University’s Office of the General Counsel approves such disclosure
and the affected Investigator is notified that the information will
be released.
4.7 Monitoring of Management and Implementation Plans. Whenever
the
Conflicts Committee develops and implements a management and
oversight plan, the Office of the Vice Chancellor for Research,
with the assistance of the College Conflicts Officer, shall monitor
the Investigator’s compliance with the plan on an ongoing basis
until the completion of the research project.
4.8. Reporting and Liaison to Research Sponsors. The Office of the
Vice
Chancellor for Research shall prepare all reports regarding
Financial Conflicts of Interest that may be required by research
sponsors and shall send copies of those reports to the research
sponsors (with copies to the Legal Department of the Research
Foundation) in compliance with the notice requirements and
reporting deadlines established by the research sponsors. The
Office of the Vice Chancellor for Research shall function as
liaison to research sponsors regarding these Financial
Conflicts.
4.9 Knowledge of Policy and Applicable Laws and Regulations.
The
University requires each Investigator and College Conflicts Officer
to be familiar with this Policy on Financial Conflicts of Interest
and all applicable Federal, state, and local laws and regulations.
The University shall provide and require training of Investigators
and College Conflicts Officers in accordance with any such laws and
regulations.
4.10. Periodic Review of Policy. Not less frequently than every
three years
following adoption of this Policy on Financial Conflicts of
Interest, the Conflicts Committee shall conduct an evaluation of
the provisions set forth in this Section 4 and, if appropriate,
amend this Policy, and any related Conflict of Interest Procedural
Documents, in order to comply with new requirements of Federal,
state, or local laws or regulations or, subject to the approval of
the University’s Board of Trustees, for any
other reason. The Conflicts Committee shall solicit comments from
the University Faculty Senate with respect to any such amendments
to this Policy. 5. Miscellaneous. 5.1. Records Retention
Requirements. All Covered Individuals shall retain all records
regarding Conflicts of Interest in accordance with The City
University of New York Records Retention and Disposition Schedule,
which is available at
http://policy.cuny.edu/records_retention_schedule/pdf. Specifically
with respect to disclosures of Significant Financial Interests
related to a sponsored research project and the review of, and
response to, such disclosures by Colleges and University officials
(whether or not a disclosure resulted in a determination of a
Financial Conflict of Interest), and all actions under Section 4 of
this Policy, records shall be retained for at least three years
from the date the final expenditures report is submitted to the
research sponsor.
5.2. Sanctions for Violations of Policy. Any failure to comply with
the provisions of this Policy may result in disciplinary sanctions
consistent with applicable collective bargaining agreements, up to
and including termination of employment. In addition, any failure
by an Investigator to comply with the requirement to disclose
Significant Financial Interests or with a management and oversight
plan regarding a Financial Conflict of Interest may lead to a loss
and/or withdrawal of grant funding or support, ineligibility to
submit grant applications to research sponsors or to participate in
research on behalf of the University, and/or ineligibility to
supervise the work of Investigators in research projects. 6.
Definitions.
As used in this Policy, the following words shall have the
following meanings:
6.1. Chair - The Chairperson of the Conflicts Committee, as
described in Section 4.5.
6.2. College - An educational unit of the University, including all
senior colleges
and community colleges, the Graduate School and University Center
(including, without limitation, the School of Professional Studies,
the Graduate School of Journalism, and the CUNY School of Public
Health at Hunter College), and the City University School of Law,
and the University’s Central Office.
6.3. College Conflicts Officer - The individual at each College
designated by
the College President to perform the functions described in Section
4.4.1. 6.4. College President - The President or Dean of each
College, as applicable.
For purposes of this Policy, the Executive Vice Chancellor for
Academic Affairs and University Provost or his or her designee
shall be deemed to be the College President of the University’s
Central Office, except that the
6.5. Company - Any corporation, partnership, association, or other
legal entity,
excluding entities controlled by the United States government, the
State of New York, the City of New York, or the University. A
Company shall be deemed to include all of its affiliates and other
associated entities.
6.6. Conflict of Interest or Conflict - (a) An actual or potential
conflict between
the personal interests of a Covered Individual and the interests of
the University; or (b) the reasonable appearance of such a
conflict.
6.7. Conflict of Interest Procedural Document – Any document
officially issued
by the University to set forth procedures for the implementation of
this Policy.
6.8. Conflicts Committee or Committee - The University-wide
committee that
reviews disclosures by Investigators of Significant Financial
Interests, determines whether or not Financial Conflicts of
Interests exist, and develops and implements management and
oversight plans with respect to Financial Conflicts of Interest, as
described in Section 4.5.
6.9 Conflicts Committee Administrator – The individual designated
by the
Chair of the Conflicts Committee to perform various administrative
functions for the Committee.
6.10. Covered Individual - Any individual who is, or at any time
becomes: (a) an
officer of the University; (b) a full-time or part-time employee of
the University; (c) a post-doctoral associate at the University; or
(d) a student engaged in faculty-directed research at the
University other than as part of his or her coursework, whether or
not the student is paid for such engagement.
6.11. Family Member - Any person living in the same household as
the Covered
Individual, and any person related to the Covered Individual within
the third degree of consanguinity or affinity. Such related persons
include the Covered Individual’s spouse and the parents, children,
siblings, grandparents, grandchildren, aunts and uncles, nieces and
nephews, cousins, great grandparents, and great grandchildren of
the Covered Individual and his or her spouse, and the spouses of
these relatives as well. (For purposes of this Policy, a “spouse”
includes a domestic partner under applicable laws governing
domestic partnerships and civil unions.) Please refer to Section
3.5. A Covered Individual should consult the University’s Office of
the General Counsel at ogc@cuny.edu if he or she has any questions
about whether the provisions of Section 3 apply to his or her
situation.
6.13 Institutional Responsibilities – An Investigator’s
professional
responsibilities on behalf of the University, performed in the
course of and within the scope of the Investigator’s appointment or
employment by the University, which may include, for example,
activities such as research, research consultation, teaching,
professional practice, institutional committee memberships, and
service on panels such as Institutional Review Boards.
6.14 Investigator - The project director or principal investigator
and any other
person, regardless of title or position, who is responsible for the
design, conduct, or reporting of a University research project,
which may include, for example, collaborators or consultants,
whether or not such project director, principal investigator, or
other person is employed by the University or the Research
Foundation.
6.15. Research Foundation - The Research Foundation of The City
University of
New York. 6.16. Significant Financial Interest – The Conflict of
Interest Procedural
Document for research projects funded or supported by a particular
sponsor will set forth the definition of Significant Financial
Interest applicable to such projects. In the absence of such a
definition in an applicable Conflict of Interest Procedural
Document, the following definition shall apply:
Anything of monetary value, including, but not limited to, salary
or other
payments for services (e.g., consulting fees or honoraria); equity
interests (e.g., stocks, stock options, or other ownership
interests); and intellectual property rights (e.g., patents,
copyrights, and royalties from such rights).
The term does not include:
(a) Salary, royalties, or other remuneration from the University;
(b) Income from seminars, lectures, or teaching engagements
sponsored by public or nonprofit entities; (c) Income from service
on advisory committees or review panels for
public or nonprofit entities; (d) An equity interest that, when
aggregated for the Covered Individual
and the Covered Individual’s spouse and dependent children, meets
both of the following tests: (i) does not exceed $10,000 in
value, as determined through reference to public prices or other
reasonable measures of fair market value; and (ii) does not
represent more than a five percent (5%) ownership interest in any
single entity; or
(e) Salary, royalties, or other payments that, when aggregated for
the
Covered Individual and the Covered Individual’s spouse and
dependent children over the next twelve months, are not expected to
exceed $10,000.
6.17. University - The City University of New York. 6.18. Vice
President for Administration - The Vice President for
Administration
(or individual with similar responsibilities) of each College, as
applicable. For purposes of this Policy, the Executive Vice
Chancellor and Chief Operating Officer of the University or his or
her designee shall be deemed to be the Vice President for
Administration of the University’s Central Office.
This revised version of the CUNY Conflict of Interest Policy was
approved by the Board of Trustees of The City University of New
York on September 30, 2013.
conflict-of-interest-12 10 13.pdf
6.15. Research Foundation - The Research Foundation of The City
University of New York.
6.17. University - The City University of New York.